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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-11-14 |
| WA | RA | APPROVED | 2022-10-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 12/2015 | 05/2019 |
| Bank Of America, N.A. | Bellevue | WA | 12/2015 | 05/2019 |
| Td Ameritrade, Inc | Renton | WA | 05/2019 | 10/2020 |
| Zenith Investment Management, Llc | Seattle | WA | 10/2020 | 08/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 08/2022 | Present |
| Bank Of America N.A. | Bellevue | WA | 10/2022 | Present |
I*416984, Entity Type: For Profit, Name of OBA: DS, Address: Seattle, Washington 98102, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 03/13/2019, No Hours: 50, No Hours during trading: 0, Duties: Intermittent commissions for fine art I*4944267 Entity Type: For Profit Name of OBA: Penny Arcade Expo (PAX) Address: Seattle, Washington, 98101 Investment Related: No Position, Title, Association: Employee Employee Start Date: 09/03/2026 Number of Hours: 24, Yearly Number of Hours during trading: 0 Duties: Video games exhibitor & convention. Manage attendees, take tickets
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-16 |
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